Remote-Eligible FINRA Compliance & Trade Surveillance Lead
Remote / Online - Candidates ideally in
Wisconsin, USA
Listed on 2026-08-03
Wisconsin, USA
Listing for:
3M HEALTHCARE
Remote/Work from Home
position Listed on 2026-08-03
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Wealth Management
Job Description & How to Apply Below
PNC Wealth Management is seeking a FINRA Supervision Specialist to oversee trade reviews for Financial Advisors across multiple hubs. You will ensure securities and insurance compliance, review alerts, and coach reps on best practices while coordinating with Compliance, Legal, and Risk teams.
The role requires 2+ years of relevant experience, a Bachelor's degree, and applicable FINRA licenses; remote work may be available in select locations, with in‑office requirements as needed.
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